Practice

The latest SEC Enforcement Activity report finds that the watchdog agency has only started four regulatory cases against public companies under the current presidential administration.

Savant Wealth Management, Moneta Group Investment Advisors and EP Wealth Advisors lead a group of fee-only firms with headcounts well above their peers.

Mindy Neira found that embracing her passions helped build a niche that fulfills her.

Rising Part B costs will absorb much of Social Security's 2026 cost-of-living adjustment — leaving less room in retirees' budgets.

Wells Fargo had argued that FINRA arbitration was the correct forum for a complaint brough by an ex-employing alleging the firm had used false interviews to boost its diversity credentials. Now the whistleblower will have his day in court.

Experts say RIA owners often resist making themselves replaceable. But they'll have to choose between an internal or external deal someday.

FP's general knowledge continuing education quiz is aimed at keeping advisors current on timely, important issues in wealth management — and helping them maintain professional certification.

LPL executives have said they're well on the way to retaining 90% of the client assets they're seeking to bring over from their recent purchase of Commonwealth. But advisor departures have ticked upward.

The hidden costs of free AI tools go beyond simple feature upgrades. Non-enterprise versions of AI tools often lack advanced data protection features.

With New Year's resolutions on the rise, financial advisors are using the seasonal focus on money goals to engage clients and spark action.